Administrative Proceedings

The Commission’s complaint alleged that Dougherty provided investment advice through C&D, and advised his clients to invest their money in various entities he controlled. The ...

On May 8, 2019, Kubiak pled guilty to a fraud scheme and to one count of wire fraud in violation of Title 18, United States ...

The net effect of these transactions was that MVP and its personnel were paid, either directly or through the Broker, up-front fees of between eleven ...

On February 2, 2019, Frew pled guilty to, inter alia, one count of mail fraud in violation of Title 18, U.S. Code, Section 1341 and ...

The Commission’s complaint alleged that, from at least November 2012 through July 2016, Drake deceived two of his clients about the advisory fees they were ...

The Commission’s complaint alleged that, from at least 2014 until October 2018, Kelly raised more than $1,000,000 from at least 12 investors, promising that he ...

Beginning in March 2012, two months after he became trustee for the Trusts, through January 2016, Groom diverted a total of approximately $460,000 from the ...

The complaint further alleged that GTS assisted its customers – largely public pension funds – in handling large orders to buy and sell securities when ...

Writing uncovered call options was also among the options trading choices that clients could permit Firm A to engage in on their behalf. Writing uncovered ...

Rooney purchased Vera Bradley stock and options using material, nonpublic information that he obtained from a senior employee of Vera Bradley (the “Vera Bradley Executive”), ...